UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D. C. 20549

 

______________

 

FORM SD

 

Specialized Disclosure Report

 

______________

 

Applied Optoelectronics, Inc.

(Exact name of Registrant as specified in its charter)

 

Delaware   001-36083   76-0533927
(State or Other Jurisdiction of Incorporation or Organization)   (Commission File Number)   (I.R.S. Employer Identification No.)

 

 

 

13139 Jess Pirtle Blvd.

Sugar Land, TX 77478

(Address of principal executive offices and zip code)

 

 

David C. Kuo, General Counsel and Secretary

(281) 295-1800

(Name and telephone number, including area code of the person to contact in connection with this Report)

 

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

ü Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2020.

 

 

 

 

 

 

 

     
 

 

SECTION 1 - CONFLICT MINERALS DISCLOSURE

 

Items 1.01 Conflict Minerals Disclosure and Report

 

Applied Optoelectronics, Inc. (the “Company”) is filing this Form SD for the reporting period from January 1, 2020 to December 31, 2020, pursuant to Rule 13p-1 under the Securities Exchange Act of 1934. The Conflict Minerals Report is publicly available on the Company’s website at http://ao-inc.com/about-our-company/global-compliance.

 

Item 1.02. Exhibit.

 

The Company is filing its Conflict Minerals Report as Exhibit 1.01 to this Form SD.

 

SECTION 2 – EXHIBITS

 

Item 2.01. Exhibits.

 

Exhibit 1.01 Applied Optoelectronics, Inc.’s Conflict Minerals Report for the reporting period from January 1, 2020 to December 31, 2020.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

Date:  May 21, 2021 APPLIED OPTOELECTRONICS, INC.  
       
       
  By: /s/  David C. Kuo  
  Name: David C. Kuo  
  Title: General Counsel and Secretary  

 

 

 

 

 

 

 

 

 

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